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- 17 CFR § 275. 204-2 - Books and records to be maintained by investment . . .
§ 275 204-2 Books and records to be maintained by investment advisers (a) Every investment adviser registered or required to be registered under section 203 of the Act (15 U S C 80b-3) shall make and keep true, accurate and current the following books and records relating to its investment advisory business;
- Books and Records - FINRA. org
Section 17 (a) (1) of the Securities Exchange Act of 1934 ("Exchange Act") requires registered broker-dealers to make, keep, furnish and disseminate records and reports prescribed by the Securities and Exchange Commission ("SEC")
- Books and Records; Disclosure Sample Clauses - Law Insider
Books and Records; Disclosure The books and records of Seller which have been delivered or made available to Buyer in connection with the transactions contemplated hereby are complete and accurate in all material respects
- Public Records Act - Frequently Asked Questions
What public records can I request? Are any records exempt from disclosure? When will I receive a response after submitting a record request? How will I receive the requested records? What to expect when physically inspecting records? What is the fee charged for providing copies of records? What is the contact information if I have any questions?
- Public Records Requests | Public Works
Public Works Records That Are Subject to Disclosure Some records in the possession of San Francisco Public Works are exempt from public disclosure under federal, state and or local laws
- Books and Records — Permanent Equity: Investing in Companies that Care . . .
To address these situations ahead of time and in a fair manner, both sides agree on when access will be granted to the other’s books and records, and the length of time those records must be kept
- Books and Records Requirements Checklist - FINRA. org
The following checklist helps identify the basic requirements for members under the new and amended recordkeeping requirements to the SEC broker dealer books and records rules
- Understanding the Books and Records Rule for RIAs: Compliance . . .
“Every investment adviser registered (or required to be registered) with the SEC must make and keep true, accurate, and current books and records relating to its investment advisory business ”
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